Expert Network Best Practices, Part II: Interpreting the SEC’s Risk Alert on MNPI

14 July 2022 Webinar Past Event

Location

Webinar

Agenda

2 p.m. Eastern/11 a.m. Pacific

Foley Partner Jim Lundy will join an ACA Group panel of subject-matter experts to examine the U.S. Securities and Exchange Commission's (SEC) Division of Examinations recent risk alert highlighting common deficiencies in material non-public information (MNPI) observed during examinations. The panelists will discuss why these deficiencies are so common and how your firm can avoid making the same mistakes.

Key learning objectives:

  • Rules about the use of Expert Networks and other research
  • Use of alternative data outlined in the risk alert
  • Application of the SEC's "shadow trading" theory
  • How your advisors and vendors can help you comply

In addition to Jim Lundy, the speakers include:

  • Carlo di Florio, Chief Services Officer, ACA Group
  • Dan Campbell, Director, ACA Group
  • Jason Howard, GC/CCO, Tegus

There is no charge to attend this webinar. To register, click here.

Related Services

Expert Network Best Practices, Part II: Interpreting the SEC’s Risk Alert on MNPI

Location

Webinar

Agenda

2 p.m. Eastern/11 a.m. Pacific